Investment Advisors

Serco Investments: The Company

Serco Investments was founded in 1980 in San Francisco, California. After two years of actively buying and selling securites for its own account, the firm accepted individual and corporate accounts on a discretionary basis. The premise of the firm is that superior performance can be achieved in the markets by a professional who is compensated by a fee.

Serco Investments manages accounts in the financial markets. The accounts are managed on a "fee" basis. The fee is determined by the value of the assets under management. Our money management services are registered with the Securities and Exchange Commission as an Investment Advisor. This registration is under the Investment Advisor Act of 1940, Serco Investments Incorporated is a "fiduciary" as the term is defined under such act. We are also registered with the Department of Corporations.

The description of money management services herein is provided in accordance with Rule 204-3 under the Investment Advisors Act of 1940, and should be reviewed prior to entering into a financial planning agreement with Serco Investments. This web site addresses all questions that are required to be divulged by the SEC under part 2 of the A.D.V. However, it is not intended to be treated as a substitute. Clients wishing to examine the A.D.V are invited to request a copy.

The information provided in this web site has not been passed upon or approved by The Securities and Exchange Commission, nor has The Commission passed upon or approved the business practices of Serco Investments.

Key Personnel

The management staff of Serco Investments is dedicated to serving you and your account to the highest degree possible. We are a diverse group of individuals, providing a synergy of skills to our financial expertise. Our success is a direct reflection of the quality of our team.

London Stock Exchange

Rajiv Sharma

Rajiv Sharma, the founder and President of Serco Investments is a native of India. His undergraduate education was completed in India and Europe. He holds a Masters Degree in Business from the University of Hartford. Since 1976, Mr. Sharma has worked full time in the financial services industry as a broker, trader and with Merrill Lynch Pierce Fenner & Smith in San Francisco. He gained further money management expertise with Sutro & Co. Inc.

Ruth Braun

Ruth Braun, Vice President, serves as portfolio manager for Serco Investments. A graduate of the University of California, Berkeley, Mrs. Braun brings with her 25 years of investment experience. Prior to joining Serco, she served as Senior Portfolio Manager for The Hibernia Bank, a San Francisco based commercial bank. Her responsibilities included management of approximately $105 million of the bank's private trust, individual and pension plan accounts.

Her prior employment was with Kidder, Peabody & Co., Inc., a major investment banking firm, where she was responsible for sales and investment advisory services to approximately 150 individuals and pension accounts. Prior to Kidder, Peabody, she was with a major San Francisco based regional investment firm where she served as First Vice President and Manager, Syndicate Department and was responsible for the firm's corporate underwriting commitments.

All our managers are comfortable in utilizing all asset classes in the security industry. This includes, but is not limited to, stocks, bonds, options, preferred stocks, exchange traded funds, mutual funds, REITs and convertible stocks and bonds.